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Updated September 28, 2026. Quick answer: Mostly yes, with one carve-out. Aldrich Wealth is registered with the SEC only as an investment adviser, so on your advisory account it owes you a fiduciary duty under the Investment Advisers Act of 1940. Its own Form CRS states: “When we act as your investment advisor, we have to act in your best interest and not put our interest ahead of yours.” A limited number of Aldrich Wealth’s financial professionals are separately licensed to sell brokerage products in a different capacity, where the weaker Regulation Best Interest standard, not a fiduciary duty, applies instead.
Fiduciary status at comparable advisory firms: Is Acorns a Fiduciary? What Its Own Form CRS Says (2026).
For a closer look at this firm: Aldrich Wealth Minimum Investment and How to Leave Aldrich Wealth.
How it’s registered
From Form CRS, Customer Relationship Summary, Aldrich Wealth (March 5, 2026): “Aldrich Wealth LP (“Aldrich Wealth,” “we,” “us,” and “our”) is an Oregon limited partnership registered as an investment advisor with the United States Securities and Exchange Commission.”
The standard of conduct, in its own words
“When we act as your investment advisor, we have to act in your best interest and not put our interest ahead of yours.”
On commissions: “Our affiliate, PCC, is a limited-purpose FINRA-registered broker-dealer that offers marketing, financing, and sale of closely held companies, some of which may be recommended to clients of Aldrich Wealth, and which may result in a success fee paid by the issuer. Certain financial professionals associated with our firm are also registered representatives of PCC and will receive additional compensation when this occurs. Our financial professionals are generally compensated through a combination of salary and incentive compensation that is determined based upon their job performance, client revenue, ability to develop other team members, and other factors.”
Fiduciary status by capacity
| Capacity | Registration | Standard you’re owed | Can earn commissions | Source |
|---|---|---|---|---|
| As your investment adviser (most clients) | SEC-registered investment adviser | Fiduciary duty (Investment Advisers Act of 1940) | No (asset-based advisory fee: $10,000 a year at $500,000. That is the stated $10,000 minimum annual advisory fee, not a rate: the published schedule charges 1.00% on balances up to $2,000,000.) | Form CRS, Customer Relationship Summary, Aldrich Wealth, March 5, 2026 |
| As a dually licensed representative (limited) | Also FINRA-registered broker-dealer representative, separate capacity | Regulation Best Interest (not a fiduciary duty) | Yes | Form CRS, Customer Relationship Summary, Aldrich Wealth, March 5, 2026 |
What this means for what you pay
Fiduciary status is one input, not the whole picture. Aldrich Wealth discloses a published fee that runs $10,000 a year on a $500,000 account; see the full dollar breakdown from Aldrich Wealth’s own fee disclosure before deciding whether the standard of conduct here changes your answer.
If the answer above changes your mind about staying, read the general mechanics of switching financial advisors, or use a dated termination letter once you decide.
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- Form CRS, Customer Relationship Summary, Aldrich Wealth (March 5, 2026): https://reports.adviserinfo.sec.gov/crs/crs_147200.pdf
- SEC Investment Adviser Public Disclosure, Aldrich Wealth (CRD #147200): https://adviserinfo.sec.gov/firm/summary/147200
- Aldrich Wealth, SEC Form ADV filing: https://reports.adviserinfo.sec.gov/reports/ADV/147200/PDF/147200.pdf
Methodology. This page was built September 28, 2026, quoting directly from Aldrich Wealth’s own current Form CRS, with the source linked above; any distinction we could not independently confirm this session is named as an honest gap rather than presented as verified. Nothing here is personalized financial, tax, legal, or investment advice, and it is not a substitute for reading the firm’s own Form CRS. See our Editorial Policy, Corrections, Affiliate Disclosure, and Disclaimer.